Search for: "Raymond James Financial, Inc."
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1 Jul 2016, 7:44 am
According to reports, Raymond James Financial Inc. has reached a $5.95 million settlement with Vermont’s department of financial regulation over compliance violations tied to real-estate development projects at ski resort Jay Peak. [read post]
19 Jan 2021, 8:16 am
Hanaur & Company, Smith Barney Inc., Citigroup Global Markets Inc., Wells Fargo Clearing Services LLC and is currently working for Raymond James & Associates, Inc. [read post]
22 Jun 2009, 7:34 pm
The Financial Industry Regulatory Authority says that RBC Capital Markets Corp., Raymond James & Associates, Inc., and an RBCCMC head trader have settled charges over alleged broker misconduct connected to stock loan improprieties. [read post]
30 Apr 2021, 3:58 am
There's Raymond James & Associates, Inc. [read post]
30 Apr 2021, 3:58 am
There's Raymond James Financial Services, Inc. [read post]
10 Jun 2023, 6:23 am
The Financial Industry Regulatory Authority Inc. on Thursday barred a financial advisor who borrowed more than $850,000 while registered with LPL Financial and later Raymond James Financial Services Inc. [read post]
31 Mar 2021, 10:25 am
His former employer Raymond James Financial Services, Inc. has reportedly agreed to pay $123,279 in restitution to the alleged victims. [read post]
6 Jul 2020, 8:14 am
May, 2019: Stow was terminated from Raymond James & Associates, Inc for allegations of misappropriating funds from customer accounts. [read post]
22 Feb 2007, 7:19 am
NASD Fines Raymond James Financial Services, Inc. $2.75 Million for Lax Supervision of Producing Branch Managers, NASD, February 21, 2007 Raymond James Fined in Lack of Oversight, New York Times, February 22, 2007 Related Web Resources: Raymond James Financial NASD NASD BrokerChecker [read post]
19 Aug 2015, 11:50 am
The firm, Raymond James Financial, Inc., disclosed on FINRA BrokerCheck that Mr. [read post]
12 Nov 2016, 10:32 am
Quiros, and Joel Burstein, a Raymond James branch manager. [read post]
3 Mar 2010, 5:48 pm
In Raymond James Financial Services Corp, Inc. [read post]
23 Feb 2023, 10:04 am
Wells Fargo sought damages, costs and fees against Raymond James Financial Services, Kent Jackson Rhoades and the 12-person team that collectively moved from Wells Fargo to Raymond James Financial Services. [read post]
15 Nov 2021, 5:46 am
If your financial advisor or broker sold you shares of Chegg, Inc. [read post]
14 Nov 2018, 1:35 pm
Murray was formerly employed by Raymond James & Associates, Inc. [read post]
1 Nov 2019, 4:53 am
featured in today's Securities Industry Commentator:SEC Division of Enforcement 2019 Annual Report (SEC Release)In]Securities Guest Blog: Wishin' I Was Stoned by Aegis Frumento Esq (BrokeAndBroker.com Blog) FINRA Orders Merrill Lynch, Pierce, Fenner & Smith Inc., Raymond James & Associates, Inc., and Raymond James Financial Services, Inc. to Pay More Than $12 Million in Restitution to Customers for… [read post]
9 Jan 2020, 6:25 am
Stefan Pastor (Stefan Anton Pastor) (CRD: #5141819) is a former registered broker and investment advisor whose last employer was Raymond James Financial Services, Inc. [read post]
3 Jan 2019, 10:09 am
According to BrokerCheck records financial advisor Steven Reznik (Reznik), formerly employed by Raymond James Financial Services, Inc. [read post]
13 Apr 2007, 9:55 am
Raymond James Financial Services, Inc., 2007 WL 1018234(E.D.Tex. [read post]
5 Jul 2007, 10:20 am
On February 21, 2007, the NASD fined Raymond James Financial Services, Inc. of St. [read post]
